Jacky Knopp
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jacky Knopp JR, who also goes by Jacky Knopp, was a registered financial professional .
Jacky is a previously registered financial professional and started their career in finance in 1982. Jacky had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2003 - December 31, 2007
WINSLOW, EVANS & CROCKER, INC.
November 20, 2001 - August 20, 2003
GOLDK INVESTMENT SERVICES, INC
March 29, 2001 - November 9, 2001
GILFORD SECURITIES INCORPORATED
November 13, 1992 - April 3, 2001
MOORS & CABOT, INC.
January 29, 1991 - October 27, 1992
S.C. PARKER & CO., INC.
September 4, 1990 - January 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 4, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
May 20, 1982 - March 12, 1988
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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